D-9.2 - Act respecting the distribution of financial products and services

Full text
72. Only a legal person that maintains an establishment in Québec may register with the Authority to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (S.C. 1991, c. 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (S.C. 1991, c. 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies authorized under the Trust Companies and Savings Companies Act (chapter S-29.02);
 — dealers or advisers registered under the Derivatives Act (chapter I-14.01) or the Securities Act (chapter V-1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186; 2002, c. 45, s. 357; 2004, c. 37, s. 90; 2009, c. 25, s. 62; 2009, c. 58, s. 53; 2018, c. 232018, c. 23, s. 526.
72. Only a legal person that maintains an establishment in Québec may register with the Authority to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (S.C. 1991, c. 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (S.C. 1991, c. 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S-29.01);
 — dealers or advisers registered under the Derivatives Act (chapter I-14.01) or the Securities Act (chapter V-1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186; 2002, c. 45, s. 357; 2004, c. 37, s. 90; 2009, c. 25, s. 62; 2009, c. 58, s. 53.
72. Only a legal person that maintains an establishment in Québec may register with the Authority to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (S.C. 1991, c. 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (S.C. 1991, c. 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S-29.01);
 — dealers or advisers registered under the Securities Act (chapter V-1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186; 2002, c. 45, s. 357; 2004, c. 37, s. 90; 2009, c. 25, s. 62.
72. Only a legal person that maintains an establishment in Québec may register with the Authority to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (Statutes of Canada, 1991, chapter 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C‐67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186; 2002, c. 45, s. 357; 2004, c. 37, s. 90.
72. Only a legal person that maintains an establishment in Québec may register with the Agency to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (Statutes of Canada, 1991, chapter 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C‐67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186; 2002, c. 45, s. 357.
72. Only a legal person that maintains an establishment in Québec may register with the Bureau to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (Statutes of Canada, 1991, chapter 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357; 2002, c. 70, s. 186.
72. Only a legal person that maintains an establishment in Québec may register with the Bureau to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks or authorized foreign banks listed in Schedule I, II or III to the Bank Act (Revised Statutes of Canada, 1985, chapter B-1.01);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637; 2002, c. 45, s. 357.
72. Only a legal person that maintains an establishment in Québec may register with the Bureau to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks governed by the Bank Act (Statutes of Canada, 1991, chapter 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — financial services cooperatives within the meaning of the Act respecting financial services cooperatives (chapter C-67.3);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72; 2000, c. 29, s. 637.
72. Only a legal person that maintains an establishment in Québec may register with the Bureau to act as a firm.
The following may, in particular, register as a firm:
 — insurers;
 — banks governed by the Bank Act (Statutes of Canada, 1991, chapter 46);
 — trust and loan companies within the meaning of the Trust and Loan Companies Act (Statutes of Canada, 1991, chapter 45);
 — savings and credit unions within the meaning of the Savings and Credit Unions Act (chapter C‐4.1);
 — trust companies within the meaning of the Act respecting trust companies and savings companies (chapter S‐29.01);
 — securities dealers or securities advisers registered under the Securities Act (chapter V‐1.1).
For the purposes of this Act, a Lloyd’s insurer is deemed to be a legal person.
1998, c. 37, s. 72.